Communications with the Public: Rapid Fire

What this video covers

• The 25/30 classification engine: how audience count sorts every communication into retail, correspondence, or institutional, and why identical content can land in different buckets
• Pre-use approval rules for retail communications by a registered principal, and why a Financial and Operations Principal (Series 27/28) cannot sign off
• Content standards prohibiting false, exaggerated, unwarranted, or promissory statements, plus the narrow exceptions for performance projections
• The three mandatory testimonial disclosures: typicality, past performance disclaimer, and compensation
• Filing deadlines and direction: post-use 10 business days for standard retail, pre-use 10 business days for self-created rankings and security futures, and the 1-year pre-file period for new member firms
• Telemarketing hours, National Do Not Call (DNC) registry scrub timing, firm-specific DNC honor periods, and why existing relationships exempt the national list but never the firm list
• Taping rule thresholds, the 60-day implementation deadline, and the trap that taping covers all registered persons, not just hires from disciplined firms
• Record retention: 3 years for communications (2 years easily accessible) versus 6 years for customer account records